Snr Associate, Compliance

CGS International Securities Hong Kong Limited; Singapore; On-site; SGD 90,000 - 130,000; Full time

Job summary

CGS International Securities Hong Kong Limited is seeking an experienced compliance professional to act as the DCORO and lead risk controls across the unit. The role entails coordinating RCSA, CET, and KRI monitoring, and maintaining audit-ready documentation for control testing.

You will oversee user access reviews, BCP testing, and support staff trading reviews and restriction lists while reviewing regulatory notifications and escalations related to market conduct.

Qualifications

• Min. 3 years relevnt experience preferred.
• Bachelor's Degree required.

Responsibilities

• Act as Departmental Compliance Operational Risk Officer (DCORO).
• Coordinate Compliance RCSA, CET, and KRI monitoring.
• Maintain audit-ready evidence and documentation for control testing.
• Oversee User access reviews and BCP testing.
• Review compliance matrices and self-testing results from Business Units.
• Assess exceptions, identify control weaknesses, and follow up on remediation actions.
• Support staff personal trading reviews and restricted/watch list administration.
• Perform trade surveillance reviews and investigations for market conduct.
• Review escalations from AML and business units involving trading activities.

Skills

SFA knowledge

SGX rules

Analytical skills

MS Office

Education

Bachelor's Degree

Tools

MS Excel

Regulatory systems

Job description

Operational Risk, Controls & Governance

• Act as Departmental Compliance Operational Risk Officer (DCORO).
• Coordinate Compliance Risk & Control Self-Assessments (RCSA), Compliance Effectiveness Testing (CET), and Key Risk Indicator (KRI) monitoring.
• Maintain audit-ready evidence and supporting documentation for all control testing activities.
• Oversee User access and shared drive reviews and Business Continuity Planning (BCP) and testing.
  

Business Unit Compliance Oversight

• Review Compliance Matrices and self-testing results submitted by Business Units.
• Assess exceptions, identify control weaknesses, and follow up on remediation actions.
• Support staff personal trading reviews and restricted/watch list administration.
• Perform trade surveillance reviews and investigations relating to potential market misconduct.
• Review escalations from AML and business units involving trading activities and market conduct concerns.
• Handle regulatory enquiries and information requests relating to trading activities.
• Facilitate regulatory notifications, including SGX direct business (marriage deal) notifications.

Skills, Experience, and Qualifications:

• Min. 3 years relevnt experience preferred.
• Bachelor's Degree.

Mandatory Skills

• Familiar with the Securities and Futures Act (SFA), SGX-ST Rules and SGX-DT Rules.
• Sound understanding of applicable laws, regulations and industry standards, and their practical impact on securities industry operations.
• Proficient in Microsoft Office applications.
• Strong analytical, critical thinking and problem-solving skills.
• Good product knowledge relevant to the securities and capital markets industry.
• Ability to manage competing priorities and work effectively in a fast-paced environment.
• Problem solver, resourceful, good communicator, enjoy doing repetitive tasks, independent and proactive.

Preferred Skills (Advantageous but Not Mandatory)

• Good interpersonal and communication skills.
• Strong team player with the ability to work independently and take initiative.
• Ability to build effective working relationships with stakeholders across different functions and levels.